AMIT KUMAR - 28 Jul 2023 Form 4 Insider Report for Anixa Biosciences Inc (ANIX)

Role
Chief Executive Officer, Director
Signature
/s/ Amit Kumar
Issuer symbol
ANIX
Transactions as of
28 Jul 2023
Transactions value $
-$42,127
Form type
4
Filing time
31 Jul 2023, 18:34:37 UTC
Previous filing
04 Jan 2023
Next filing
16 Jan 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ANIX Common Stock Options Exercise $103K +40K +8.66% $2.58 502K 28 Jul 2023 Direct
transaction ANIX Common Stock Tax liability -$103K -28.4K -5.65% $3.63 474K 28 Jul 2023 Direct F1
transaction ANIX Common Stock Sale -$42.1K -11.8K -2.49% $3.57 462K 31 Jul 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ANIX Employee Stock Option (Right to Buy) Options Exercise $0 -40K -100% $0.00* 0 28 Jul 2023 Common Stock 40K $2.58 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting persons exercised the stock options at this time due to their expiration on November 8, 2023. The disposal of shares reported herein represents shares withheld by Anixa Biosciences, Inc. (the "registrant") to cover the exercise price of the stock options.
F2 Right-To-Buy, pursuant to a stock option grant dated November 8, 2013.